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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
Parsed reports
2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025013
Dec 202503
Jan 202604
Feb 2026014
Mar 202602
Apr 202602
May 202604
Jun 202601
Jul 202605
Aug 2026010
Sep 202603
Oct 202601

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 01, 2018 Filed Feb 5, 2018 22:36 UTC
Cooper Matthew WGeneral Counsel
Grant2018 Restricted Stock Units · Derivative 3,935 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000058 · wf-form4_151787018065465.xml · derivative · entry 2

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,935

Underlying: Common Stock · 3,935 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 145 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 145 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:36 UTC
Cooper Matthew WGeneral Counsel
GrantCommon Stock 8,443 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000058 · wf-form4_151787018065465.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,388

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 29, 2018 Filed Jan 31, 2018 21:25 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 3,600 $105.55 $379,980.00
Disclosure

SEC source: 0000927628-18-000022 · wf-form4_151743389784825.xml · nonDerivative · entry 3

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · By GRAT

Disclosed balance after: 0

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.46 to $105.73. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 29, 2018 Filed Jan 31, 2018 21:25 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 48,528 $104.95 $5,093,013.60
Disclosure

SEC source: 0000927628-18-000022 · wf-form4_151743389784825.xml · nonDerivative · entry 2

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · By GRAT

Disclosed balance after: 3,600

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $104.46 to $105.45. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 29, 2018 Filed Jan 31, 2018 21:25 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 15,764 $105.17 $1,657,899.88
Disclosure

SEC source: 0000927628-18-000022 · wf-form4_151743389784825.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · Finneran/Cotter Children's Trust

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.02 to $105.35. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 25, 2018 Filed Jan 26, 2018 22:52 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionStock Options · Derivative 185,202 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0000927628-18-000020 · wf-form4_151700710737259.xml · derivative · entry 10

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 485,201

Underlying: Common Stock · 185,202 shares

Expires 2019-01-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F8 · derivative.exercise_date: The grant became exercisable in full on January 29, 2012, the third anniversary of the grant date.

Read SEC document
January 25, 2018 Filed Jan 26, 2018 22:52 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 200 $105.83 $21,166.00
Disclosure

SEC source: 0000927628-18-000020 · wf-form4_151700710737259.xml · nonDerivative · entry 8

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,678,270

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 25, 2018 Filed Jan 26, 2018 22:52 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 73,129 $105.20 $7,693,170.80
Disclosure

SEC source: 0000927628-18-000020 · wf-form4_151700710737259.xml · nonDerivative · entry 7

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,678,470

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $104.72 to $105.64. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 25, 2018 Filed Jan 26, 2018 22:52 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 111,873 $104.22 $11,659,404.06
Disclosure

SEC source: 0000927628-18-000020 · wf-form4_151700710737259.xml · nonDerivative · entry 6

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,751,599

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $103.72 to $104.70. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 25, 2018 Filed Jan 26, 2018 22:52 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 185,202 $18.28 $3,385,492.56
Disclosure

SEC source: 0000927628-18-000020 · wf-form4_151700710737259.xml · nonDerivative · entry 5

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,863,472

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 24, 2018 Filed Jan 26, 2018 22:52 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionStock Options · Derivative 300,000 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0000927628-18-000020 · wf-form4_151700710737259.xml · derivative · entry 9

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 670,403

Underlying: Common Stock · 300,000 shares

Expires 2019-01-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F8 · derivative.exercise_date: The grant became exercisable in full on January 29, 2012, the third anniversary of the grant date.

Read SEC document
January 24, 2018 Filed Jan 26, 2018 22:52 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 3,023 $106.09 $320,710.07
Disclosure

SEC source: 0000927628-18-000020 · wf-form4_151700710737259.xml · nonDerivative · entry 4

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,678,270

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.04 to $106.27. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 24, 2018 Filed Jan 26, 2018 22:52 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 272,942 $105.44 $28,779,004.48
Disclosure

SEC source: 0000927628-18-000020 · wf-form4_151700710737259.xml · nonDerivative · entry 3

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,681,293

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $105.04 to $106.02. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 24, 2018 Filed Jan 26, 2018 22:52 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 24,035 $104.71 $2,516,704.85
Disclosure

SEC source: 0000927628-18-000020 · wf-form4_151700710737259.xml · nonDerivative · entry 2

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,954,235

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $104.04 to $105.03. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 24, 2018 Filed Jan 26, 2018 22:52 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 300,000 $18.28 $5,484,000.00
Disclosure

SEC source: 0000927628-18-000020 · wf-form4_151700710737259.xml · nonDerivative · entry 1

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,978,270

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.

Read SEC document
January 12, 2018 Filed Jan 17, 2018 21:07 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 10,086 $105.00 $1,059,030.00
Disclosure

SEC source: 0000927628-18-000010 · wf-form4_151622324956208.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,367

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 12, 2018 Filed Jan 17, 2018 21:10 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionStock Options · Derivative 27,818 $0.00 Strike: $56.32 $0.00
Disclosure

SEC source: 0000927628-18-000012 · wf-form4_151622344546764.xml · derivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,818 shares

Expires 2023-01-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
January 12, 2018 Filed Jan 17, 2018 21:10 UTC
Slocum MichaelPresident, Commercial Banking
SaleCommon Stock 27,818 $105.00 $2,920,890.00
Disclosure

SEC source: 0000927628-18-000012 · wf-form4_151622344546764.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,574

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 12, 2018 Filed Jan 17, 2018 21:10 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 27,818 $56.32 $1,566,709.76
Disclosure

SEC source: 0000927628-18-000012 · wf-form4_151622344546764.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,392

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 04, 2018 Filed Jan 8, 2018 21:10 UTC Exercise / conversionStock Options · Derivative 6,361 $0.00 Strike: $16.93 $0.00
Disclosure

SEC source: 0000927628-18-000006 · wf-form4_151544583611218.xml · derivative · entry 4

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,361 shares

Expires 2019-04-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 04, 2018 Filed Jan 8, 2018 21:10 UTC SaleCommon Stock 6,361 $102.00 $648,822.00
Disclosure

SEC source: 0000927628-18-000006 · wf-form4_151544583611218.xml · nonDerivative · entry 2

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,011

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 04, 2018 Filed Jan 8, 2018 21:10 UTC Exercise / conversionCommon Stock 6,361 $16.93 $107,691.73
Disclosure

SEC source: 0000927628-18-000006 · wf-form4_151544583611218.xml · nonDerivative · entry 1

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,372

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 02, 2018 Filed Jan 4, 2018 22:17 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionStock Options · Derivative 56,624 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0000927628-18-000003 · wf-form4_151510425354477.xml · derivative · entry 6

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 56,624 shares

Expires 2021-01-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 9, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 02, 2018 Filed Jan 4, 2018 22:17 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 2,029 $100.02 $202,940.58
Disclosure

SEC source: 0000927628-18-000003 · wf-form4_151510425354477.xml · nonDerivative · entry 3

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,551

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 9, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.88 to $100.15. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 02, 2018 Filed Jan 4, 2018 22:17 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 45,700 $99.19 $4,532,983.00
Disclosure

SEC source: 0000927628-18-000003 · wf-form4_151510425354477.xml · nonDerivative · entry 2

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,580

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 9, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.84 to $99.72. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 02, 2018 Filed Jan 4, 2018 22:17 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 56,624 $48.28 $2,733,806.72
Disclosure

SEC source: 0000927628-18-000003 · wf-form4_151510425354477.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,280

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 9, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 02, 2018 Filed Jan 4, 2018 22:18 UTC Exercise / conversionStock Options · Derivative 3,000 $0.00 Strike: $16.93 $0.00
Disclosure

SEC source: 0000927628-18-000004 · wf-form4_151510427004943.xml · derivative · entry 5

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,229

Underlying: Common Stock · 3,000 shares

Expires 2019-04-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 02, 2018 Filed Jan 4, 2018 22:18 UTC SaleCommon Stock 200 $100.08 $20,016.00
Disclosure

SEC source: 0000927628-18-000004 · wf-form4_151510427004943.xml · nonDerivative · entry 3

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,085

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 02, 2018 Filed Jan 4, 2018 22:18 UTC SaleCommon Stock 2,800 $99.42 $278,376.00
Disclosure

SEC source: 0000927628-18-000004 · wf-form4_151510427004943.xml · nonDerivative · entry 2

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,285

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.04 to $99.93. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 02, 2018 Filed Jan 4, 2018 22:18 UTC Exercise / conversionCommon Stock 3,000 $16.93 $50,790.00
Disclosure

SEC source: 0000927628-18-000004 · wf-form4_151510427004943.xml · nonDerivative · entry 1

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,085

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 22, 2017 Filed Dec 27, 2017 21:10 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionStock Options · Derivative 38,515 $0.00 Strike: $45.75 $0.00
Disclosure

SEC source: 0000927628-17-000323 · wf-form4_151440900664651.xml · derivative · entry 5

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,515 shares

Expires 2022-01-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter.

Read SEC document
December 22, 2017 Filed Dec 27, 2017 21:10 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionStock Options · Derivative 22,450 $0.00 Strike: $56.32 $0.00
Disclosure

SEC source: 0000927628-17-000323 · wf-form4_151440900664651.xml · derivative · entry 4

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,450 shares

Expires 2023-01-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
December 22, 2017 Filed Dec 27, 2017 21:10 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 156,278 $100.00 $15,627,800.00
Disclosure

SEC source: 0000927628-17-000323 · wf-form4_151440900664651.xml · nonDerivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,453

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 22, 2017 Filed Dec 27, 2017 21:10 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 38,515 $45.75 $1,762,061.25
Disclosure

SEC source: 0000927628-17-000323 · wf-form4_151440900664651.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,731

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 22, 2017 Filed Dec 27, 2017 21:10 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 22,450 $56.32 $1,264,384.00
Disclosure

SEC source: 0000927628-17-000323 · wf-form4_151440900664651.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,216

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 22, 2017 Filed Dec 27, 2017 21:10 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionStock Options · Derivative 26,405 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0000927628-17-000324 · wf-form4_151440902531662.xml · derivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,405 shares

Expires 2021-01-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
December 22, 2017 Filed Dec 27, 2017 21:10 UTC
Slocum MichaelPresident, Commercial Banking
SaleCommon Stock 26,405 $100.00 $2,640,500.00
Disclosure

SEC source: 0000927628-17-000324 · wf-form4_151440902531662.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,574

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 22, 2017 Filed Dec 27, 2017 21:10 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 26,405 $48.28 $1,274,833.40
Disclosure

SEC source: 0000927628-17-000324 · wf-form4_151440902531662.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,979

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 21:20 UTC Exercise / conversionStock Options · Derivative 7,000 $0.00 Strike: $16.93 $0.00
Disclosure

SEC source: 0000927628-17-000318 · wf-form4_151380479693758.xml · derivative · entry 4

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,361

Underlying: Common Stock · 7,000 shares

Expires 2019-04-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 21:20 UTC SaleCommon Stock 7,000 $98.00 $686,000.00
Disclosure

SEC source: 0000927628-17-000318 · wf-form4_151380479693758.xml · nonDerivative · entry 2

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,011

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 21:20 UTC Exercise / conversionCommon Stock 7,000 $16.93 $118,510.00
Disclosure

SEC source: 0000927628-17-000318 · wf-form4_151380479693758.xml · nonDerivative · entry 1

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,011

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 15, 2017 Filed Dec 19, 2017 21:23 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 6,716 $96.74 $649,705.84
Disclosure

SEC source: 0000927628-17-000316 · wf-form4_151371861773362.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,273

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 14, 2017 Filed Dec 18, 2017 21:35 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionStock Options · Derivative 34,126 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0000927628-17-000314 · wf-form4_151363289415657.xml · derivative · entry 6

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 34,126 shares

Expires 2021-01-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
December 14, 2017 Filed Dec 18, 2017 21:35 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionStock Options · Derivative 31,178 $0.00 Strike: $45.75 $0.00
Disclosure

SEC source: 0000927628-17-000314 · wf-form4_151363289415657.xml · derivative · entry 5

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 31,178 shares

Expires 2022-01-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter.

Read SEC document
December 14, 2017 Filed Dec 18, 2017 21:35 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 83,046 $95.00 $7,889,370.00
Disclosure

SEC source: 0000927628-17-000314 · wf-form4_151363289415657.xml · nonDerivative · entry 3

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,426

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 14, 2017 Filed Dec 18, 2017 21:35 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 34,126 $48.28 $1,647,603.28
Disclosure

SEC source: 0000927628-17-000314 · wf-form4_151363289415657.xml · nonDerivative · entry 2

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,472

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 14, 2017 Filed Dec 18, 2017 21:35 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 31,178 $45.75 $1,426,393.50
Disclosure

SEC source: 0000927628-17-000314 · wf-form4_151363289415657.xml · nonDerivative · entry 1

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,346

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 04, 2017 Filed Dec 5, 2017 22:05 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 63,740 $0.00 Strike: $48.95 $0.00
Disclosure

SEC source: 0000927628-17-000295 · wf-form4_151251150114442.xml · derivative · entry 8

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 63,740 shares

Expires 2018-02-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.

Read SEC document
December 04, 2017 Filed Dec 5, 2017 22:05 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 6,257 $94.70 $592,537.90
Disclosure

SEC source: 0000927628-17-000295 · wf-form4_151251150114442.xml · nonDerivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,989

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 04, 2017 Filed Dec 5, 2017 22:05 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 6,357 $96.00 $610,272.00
Disclosure

SEC source: 0000927628-17-000295 · wf-form4_151251150114442.xml · nonDerivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,246

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.